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January 2012

Neil S. Baritz and Roger L. Shaffer recently presented at an industry sponsored roundtable on the topic of “What to Expect from a Regulatory Audit.” The presentation included a discussion of the transition from a traditional brokerage to a fee based advisory platform, industry trends and the importance of preparation for what securities and investment advisory regulators have indicated will be significantly increased regularity of site examinations and corresponding scrutiny.

posted by Baritz & Colman LLP at 3:44 PM

January 2012

We are pleased to announce that Nicholas A. Secara has joined the firm as an Associate in the firm's New York office. Pending admission, Nick will be a member of the New York and New Jersey Bars. His primary concentration is in securities and corporate law, commercial litigation, and construction and real estate law. Nick is a graduate of the Benjamin N. Cardozo School of Law, where he was the Editor-in-Chief of the Cardozo Journal of International and Comparative Law, and participated in the Criminal Appeals Clinic. Nick also served as an intern for the Honorable Brian M. Cogan, United States District Court, Eastern District of New York and the Office of the New York State Attorney General

posted by Baritz & Colman LLP at 9:30 AM

June 2011

We are pleased to announce that Russell M. Wolfson has joined the firm as a Partner and the Director of the firm’s New York Commercial Litigation, Construction and Real Estate Department. He has many years of experience in areas of the law including construction, real estate, corporate formations, partnership issues, insurance, employment law, mergers and acquisitions, dispute avoidance and resolution. He brings to the firm the unique skills of a seasoned litigator with extensive transactional experience. Russell is admitted to the New York State Bar and the United States District Courts for the Southern and Eastern Districts of New York.

posted by Baritz & Colman LLP at 1:30 PM

June 2011

We are pleased to announce that Meredith S. Heller has joined the firm as an Associate in the firm’s New York office. Meredith is a member of the New York State Bar Association, Association of the Bar of the City of New York, National Association of Criminal Defense Attorneys, New York State Association of Criminal Defense Attorneys, and the New York Women’s Bar Association. Meredith was recently appointed to the Ethics Committee of New York City Bar Association and has been a guest lecturer in Professional Responsibility at Columbia University School of Law. Meredith is a graduate of the Benjamin N. Cardozo School of Law, where she participated in the Innocence Project, both as a student and a research assistant.

posted by Baritz & Colman LLP at 1:25 PM

May 2011

Baritz & Colman successfully defended a multi-million dollar claim arising out of investment losses incurred during 2008 global financial crisis. The FINRA Arbitration, Ingram v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Case No.: 09-07122, involved claims for negligence, suitability, negligent supervision, misrepresentations and omissions, breach of fiduciary duty and breach of contract and sought damages for an amount in excess of $5 million. After four days of final hearing testimony, the Panel of Arbitrators dismissed the claims in their entirety, with prejudice. Click here for a full copy of the Award.

posted by Baritz & Colman LLP at 11:50 AM

May 2011

Neil Baritz was a featured speaker at the 4th Annual Broker-Dealer Consortium sponsored by Catlin, Inc. Mr. Baritz’ topic, “What To Do When You’ve Been Sued, a Practical Guide,” was presented to an audience of independent platform broker-dealers located throughout the United States and focused on the importance of information gathering, data-collection and strategic decision making processes necessary to defending securities arbitrations and regulatory actions.

posted by Baritz & Colman LLP at 4:25 PM

May 2011

Baritz & Colman LLP celebrates its 15th Anniversary. May 31, 2011 proudly marks the 15th Anniversary of the firm. The firm thanks its clients for their continued support.

posted by Baritz & Colman LLP at 4:20 PM

February 2011

Dana Gloor was a featured speaker at the Winter Conference of the Mid-Atlantic Securities Traders Association, sharing the podium with Joe Mecane, EVP of NYSE Euronext, and Ron Insana of CNBC. Dana spoke about regulatory actions involving traders and regulatory priorities for the upcoming year. Click here to view more details on the Winter Conference:

MidAtlantic Security Traders Association Winter Conference Program

posted by Baritz & Colman LLP at 3:04 PM

November 2010

We are pleased to announce the opening of a Baltimore, Maryland office. Dana S. Gloor a former General Counsel of Ferris, Baker Watts, Inc. and former in-house Counsel of TD Ameritrade will serve as partner and will lead the office. Ms. Gloor graduated with honors from the University of Maryland School of Law.

posted by Baritz & Colman LLP at 7:57 AM

Thursday, May 20, 2010

May 2010

Neil Baritz and David Richan conducted a mock examination of securities regulatory expert, David Paulukaitis of The Mainstay Group, before an audience of independent broker-dealer clients at a seminar hosted by Catlin, Inc. in Boca Raton, Florida. The examination of Mr. Paulukaitis focused on the increased scrutiny on the due diligence requirements of a broker-dealer in light of recent FINRA Regulatory Notice 10-22. The presentation included an analysis of Regulatory Notice 10-22 as well as other FINRA Notices to Members focusing on other aspects of broker-dealer required due diligence. A link to FINRA Regulatory Notice 10-22 and the Outline of the Examination of Mr. Paulukaitis is attached.

posted by Baritz & Colman LLP at 11:53 AM

Monday, February 8, 2010

February 2010

Be careful what you write on that wall, Facebook friends! FINRA has just issued Notice 10-06 to guide firms and personnel on applying the communications rules to social media sites, such as blogs and social networking sites for business purposes. The FINRA guidelines caution members to develop policies and procedures that are best designed to ensure compliance with all aplicable requirements. FINRA also reminds members that guidelines should be considered in the context of a firm's own business and compliance and supervisory programs. The guidelines address social media and recordkeeping responsibilities, suitability responsibilities, interactive electronic communications when recommending investments, blogging, how Facebook, Twitter and LinkedIn figures in, supervision and third party posts and firm responsibilities. Click here for a complete copy of FINRA Notice 10-06. Susan L. Harper, Esq.

posted by Baritz & Colman LLP at 2:53 PM

Thursday, December 3, 2009

December 2009

After completing a 40 hour certification course and 35 hours of intensive mediation observation and training, Nancy Colman is now a Supreme Court Certified Circuit Civil Mediator.

posted by Baritz & Colman LLP at 7:38 AM

Friday, August 14, 2009

August 2009

Neil Baritz presented a mock arbitration before an audience of approximately 400 financial advisors in San Diego, California at an annual compliance seminar hosted by First Allied Securities and Advanced Equities. Relying on a composite fact pattern reflecting recurring themes in the current litigation and regulatory environment, the mock arbitration focused on best practices and the sometimes conflicting roles of the financial advisor and OSJ supervisor in volatile markets.

posted by Baritz & Colman LLP at 6:34 AM

May 2009

Neil Baritz led a mock mediation using the skills of well-known mediator Jeffrey Grubman, before an audience of independent broker dealer clients at a seminar hosted by Catlin, Inc. in Phoenix, Arizona. The mock mediation, resulting in a successful and mutually unacceptable settlement, was conducted over a two-day period, and featured a composite fact pattern reflecting current themes, against an overlay of insurance coverage, intransient parties and impending final hearings.

posted by Baritz & Colman LLP at 6:30 AM

Monday, March 23, 2009

March, 2009

Susan L. Harper has accepted an invitation to join the Editorial Board of the Journal of Securities Law, Regulation & Compliance, Henry Stewart Publications LLP. Click here for a full listing of editorial board members.

posted by Baritz & Colman LLP at 11:43 AM

Tuesday, February 24, 2009

February 2009

For the second time in the last five years, a significant change has been made to the process an associated person must follow in order to have a customer complaint expunged from their respective records maintained by the Central Registration Depository. Effective January 26, 2009, the Financial Industry Regulatory Authority implemented new procedures for arbitrators to follow when considering requests for expungement relief pursuant to NASD Rule 2130. Craig Glasser authored a recent newsletter discussing these new procedures.

posted by Baritz & Colman LLP at 7:19 AM

January 2009

In September 2008, Nancy Colman successfully completed a $48,500,000.00 transaction involving the purchase of five (5) multi family complexes located in Houston, Texas. Ms. Colman represented the purchaser in the transaction. The transaction closed shortly after Houston was devastated by Hurricane Ike. This complicated the transaction as there were numerous insurance issues in addition to the customary purchase/sale transaction and financing issues. Nancy Colman has become a member of the Florida Lawyers Saving Homes Program which provides pro bono assistance to homeowners facing foreclosure.

posted by Baritz & Colman LLP

July 2008

Susan L. Harper served as organizer and event chair of the New York County Lawyers' Association's WRC's Book Signing, featuring United States Congresswoman Carolyn Maloney. The event was televised on C-SPAN Books and was co-Sponsored by NYCLA's Law & Literature Committee. For additional information, please click on the following link. NY County Lawyers - October 2008

posted by Baritz & Colman LLP

April 2008

Susan L. Harper served as organizer and event co-chair (with F. Smith, UBS Financial Services) of the Financial Women's Association and New York County Lawyers' Association's Speed Networking Mini Reunion program. The event was sponsored by John Hancock Funds. For additional information, please click on the following link. NY County Lawyers - November 2007

posted by Baritz & Colman LLP

March 2008

The New York Law Journal Magazine published an article by Susan L. Harper entitled "Who is Lady Justice?" A copy of the article can be found at the following link. NYLJ Magazine - February 2008

posted by Baritz & Colman LLP

April 2007

Susan L. Harper served as organizer, CLE moderator and event chair to the New York County Lawyers' Association and Financial Women's Association's "So You've Got That Referral, Now What? The panel featured Beth Dorfman, Esq., Associate General Counsel of Banc of America Investment Services, Inc. and president of SIFMA Compliance & Legal Division, Nancy Gardner, Esq., general counsel of Thomson Reuters and Deborah Kaye, Esq., Managing Counsel of Bank of New York/Mellon. The sponsor was ALM - New York Law Journal. For additional information, please click on the following link. NY County Lawyers - May 2007

posted by Baritz & Colman LLP

December 2008

Susan L. Harper served as Woman's Rights Committee co-sponsor/chair of Evening Discussion with United States House Speaker Nancy Pelosi and United States Congresswoman Carolyn Maloney, Hunter College.

posted by Baritz & Colman LLP

November 2008

Baritz & Colman and Catlin, Inc. hosted a Web Seminar at which Neil Baritz gave a presentation regarding the current challenges facing the securities professional in the context of volatile markets, adverse economic conditions and a new presidential administration.

posted by Baritz & Colman LLP

October 2008

A FINRA panel of arbitrators rendered an award in a recently concluded arbitration in which the panel assessed pre-hearing and final hearing costs against the claimant and her attorneys, jointly and severally. This unusual determination came at the conclusion of six hearing days and reflected the position advocated by respondents throughout the matter that the claims were baseless and should never have been asserted. Neil Baritz represented respondents in this matter. The case style is Alpert v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, et al., FINRA Case No.: 07-01049

posted by Baritz & Colman LLP

October 2008

Susan L. Harper participated as a panelist on the Financial Women's Association's Career Connections Committee's Transition Tuesday panel. The event was sponsored by Wachovia Bank. For additional information, click here.

posted by Baritz & Colman LLP

October 2008

Neil Baritz and Robert Harris presented a mock arbitration at an annual compliance seminar hosted by Summit Brokerage Services, Inc., a securities broker dealer with approximately 200 independent platform financial advisors located throughout the country. The mock arbitration focused on the role of the financial advisor in a volatile market environment.

posted by Baritz & Colman LLP

June 2008

Susan L. Harper was appointed Co-Chair of the New York County Lawyers' Association's Women's Rights Committee by NYCLA's President Ann Lesk.

posted by Baritz & Colman LLP

May 2008

Neil Baritz and Edward Larkin presented a mock arbitration at a compliance seminar hosted by Prime Capital Services, Inc., a securities broker-dealer with over 250 independent contractor financial advisors located throughout the country. The subject of the mock arbitration was "best practices" with a focus on the day-to-day responsibilities of the financial advisor in a volatile market environment.

posted by Baritz & Colman LLP

April 2008

Neil Baritz and Edward Larkin presented a mock arbitration at a securities industry seminar hosted by Catlin, Inc. an insurance company with a substantial broker-dealer constituency. The subject of the arbitration was "best practices," with a focus on the supervisory responsibilities of a broker dealer.

posted by Baritz & Colman LLP

October 2007

Susan L. Harper served as organizer and event co-Chair (with F. Smith, UBS Financial Services) of the Financial Women's Association and New York County Lawyers' Association's Speed Networking and Rain Making Skills program, featuring Andrea Nierenburg. The event was sponsored by John Hancock Funds.

posted by Baritz & Colman LLP

February 2008

Securities Arbitration Commentator published an article by Susan L. Harper entitled "When FINRA Speaks, Are You Listening?"

posted by Baritz & Colman LLP

March 2007

The New York Law Journal Magazine published an article by Susan L. Harper entitled "Moments in History: 100-Year Timeline of New York Women in Law."

posted by Baritz & Colman LLP

August 2006

Edward Larkin recently participated as a panelist at a Securities Arbitration seminar in New York sponsored by the Practicing Law Institute. Ed's morning panel addressed the current responsibilities of securities industry professionals, including brokers and supervisors, with respect to management and supervision of customer accounts. Ed's afternoon panel addressed an attorneys' ethical responsibilities in connection with the overall arbitration process. Seminar attendees were provided with a two-volume course handbook, which included an article co-authored by Ed entitled Mediation Redux: Now More Than Ever Suggestions for Practitioners. For copies of the seminar agenda and Ed's article, click on the following links. PLI Seminar Agenda Mediation Redux

posted by Baritz & Colman LLP

June 2006

Neil Baritz recently prevailed at a specially set evidentiary hearing before a full panel of NASD arbitrators on a Motion to Dismiss. The purpose of the evidentiary hearing was to consider Respondents' Motion to Dismiss based on applicable statutes of limitation. Importantly, the NASD panel of arbitrators conducted an evidentiary hearing early on in the administration of the case and strictly enforced the state statutes of limitations applicable to the claims. At the conclusion of the evidentiary hearing, the panel dismissed the matter in its entirety, well in advance of final hearings. For a copy of the decision, click on the following link. Gars vs. FFP Securities, Inc.

posted by Baritz & Colman LLP

Monday, May 15, 2006

May 2006

Baritz & Colman is proud to announce the celebration of its tenth year. Memorial Day 2006 marks the tenth anniversary of the founding of the firm and the second anniversary of the firm's New York office (located in the historic Woolworth Building in lower Manhattan). We take great pleasure in thanking our clients and friends for all their support. We look forward to many more years of continued success.

posted by Baritz & Colman LLP at 12:00 PM

Thursday, December 15, 2005

December 2005

In a recently released 11th Circuit Court of Appeals decision, in a matter of first impression in this Circuit, the Court found that diversity jurisdiction in the Federal Court is proper when a party seeking to challenge an arbitration award of less than the statutory minimum of $75,000 is also seeking a new arbitration hearing seeking an amount above the statutory minimum. In rejecting the argument that Federal Court jurisdiction was not proper, the 11th Circuit Court of Appeals also denied Petitioner's efforts to vacate the zero dollar award. Neil Baritz successfully defended Merrill Lynch, Pierce, Fenner & Smith, Incorporated at the NASD arbitration hearings and in the post-award efforts at vacating the NASD arbitration award. For a copy of the decision, click on the following link.

Don Peebles vs Merrill Lynch, Pierce, Fenner & Smith Inc.

posted by Baritz & Colman LLP at 12:00pm

Wednesday, June 15, 2005

June 2005

Baritz & Colman celebrates the one year anniversary of the opening of its New York offices. June 2005 marks the one year anniversary of the establishment of the firm's New York offices and we thank our clients and friends for making our success at this new location possible.

posted by Baritz & Colman LLP

Sunday, May 15, 2005

May 2005

Baritz & Colman is proud to announce the celebration of their ninth year. Memorial Day 2005 marks the ninth anniversary of the founding of the firm. We take great pleasure in thanking our clients and friends for all their support. We look forward to many more years of continued success.

posted by Baritz & Colman LLP

Tuesday, February 15, 2005

February 2005

Neil Baritz presented a seminar to a large insurance company in New York regarding the defense of securities arbitration claims which involve the sale of variable annuities. The Agenda covered a broad range of materials regarding variable annuities as well as "how to" defend arbitration claims involving annuities. The presentation also included a discussion of the issues involved in representing broker/dealers and their associated persons in the current regulatory environment.

Download Agenda

posted by Baritz & Colman LLP